Latest Updates | CATNMSPLAN

03/26/2020
Event
CAT Technical Specification Working Group Q&A - 3/26/20
03/24/2020
FAQ| H. ATS
H1. If an Industry Member holds a peg order, is the Industry Member required to report to the CAT a modification to the peg order every time the market moves?
03/19/2020
Announcement
Approval Order of Exemptive Request Letter related to Customer and Account Information
03/19/2020
Announcement
Plan Participant's Request for No Action Relief
03/19/2020
Governance
Approval Order of Exemptive Request Letter related to Customer and Account Information
03/18/2020
Event
Weekly Industry Testing Checkpoint Call (3/17/2020)
03/17/2020
Announcement
Participant’s Statement on the SEC’s No Action Letter
03/17/2020
Announcement
No Action Letter
03/12/2020
FAQ| S. Security
S9. How can CAT Data be used?
03/12/2020
FAQ| S. Security
S6. What is Customer Account Information and Customer Identifying Information?
03/12/2020
FAQ| K. Options
K13. If an Industry Member manually initiates a proprietary order and simultaneously enters the order into an OMS/EMS, is this considered a manual event or an electronic event?
03/12/2020
FAQ| M. Firm Designated ID
M15. What should be reported as the Firm Designated ID (“FDID”) when an employee of the Industry Member is exercising discretion over multiple client accounts and creates an aggregated order for which a trading account number of the Industry Member is not available at the time of order origination?
03/12/2020
FAQ| S. Security
S10. How do the Plan Processor and Participants protect CAT Data?
03/12/2020
FAQ| S. Security
S7. How does the CAT protect social security numbers?
03/12/2020
FAQ| S. Security
S4. What is the CAT?

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A. General
B. Reporting Requirements
C. Definitions
D. Order Receipt
E. Order Routing and Execution
F. Representative Orders
G. Manual Orders
H. ATS
I. Foreign Securities
J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
R. Clock Synchronization
S. Security
T. Production Readiness Testing
U. Allocations
V. CAT Billing
W. Fee Dispute Resolution
All Topics

A. General
B. Reporting Requirements
C. Definitions
D. Order Receipt
E. Order Routing and Execution
F. Representative Orders
G. Manual Orders
H. ATS
I. Foreign Securities
J. OTC Equity Securities
K. Options
L. Equity Floor Brokers
M. Firm Designated ID
N. Third Party Reporting
O. Technical Requirements
P. Feedback and Error Correction
Q. Customer and Account Information
R. Clock Synchronization
S. Security
T. Production Readiness Testing
U. Allocations
V. CAT Billing
W. Fee Dispute Resolution
All Topics